This Rules Notice provides guidance on: the procedures for the execution of a designated trade that involves a distribution to cl...
CN Editor
April 18, 2023
ESMA ISSUES GUIDANCE ON LISTING REFORMS
CIRO PROFICIENCY MODEL FOR APPROVED PERSONS UNDER THE INVESTMENT DEALER AND PARTIALLY CONSOLIDATED RULES
GUIDANCE ON THE NEW CIRO PROFICIENCY MODEL FOR APPROVED PERSONS OF INVESTMENT DEALERS - EXEMPTIONS, RECOGNITION, TRANSITION AND VALIDITY PROVISIONS
GUIDANCE ON DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
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EX-ADVISORY FIRM CEO LANDS IN PRISON
CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK
OSC RESEARCH UNCOVERS CONCERNS ABOUT FINFLUENCERS" POWER OF PERSUASION